BARRETT ADOLESCENT CENTRE COMMISSION OF INQUIRY DOCUMENT MANAGEMENT PROTOCOL 14 SEPTEMBER 2015 (To be read in conjunction with Practice Guidelines 01/2015 published 14 September 2015) 1. Electronic Document Management 1.1 To facilitate the expeditious conduct of the Inquiry, the Commission intends to receive, manage and consider all materials electronically. 1.2 This Document Management Protocol defines the details of how materials should be collected, digitised and provided to the Commission. 1.3 Early adoption of the protocol by all parties will be of significant assistance to the Commission. 2. Purpose of this Document 2.1 This is the Document Management Protocol referred to in paragraphs 9.(b) and 19.(f) ii of Practice Guidelines 01/2015 published on 14 September 2015 (the Practice Guidelines). 2.2 The Protocol details the way in which documents are to be provided to the Commission in electronic format, unless otherwise specified by the Commission. 2.3 The Protocol applies to: (a) All witness statements (including exhibits to witness statements); and (b) Unless otherwise specified by the Commission, all other information, relevant documents and submissions referred to in paragraph 10 of the Practice Guidelines. 2.4 Together, the documents referred to in paragraph 2.3 of this Protocol are called the Documents. 3. Document Descriptions 3.1 All Documents will be accompanied by a spreadsheet or Access.mdb file containing the following information or metadata for each Document: (a) (b) (c) (d) (e) (f) (g) (h) (i) Document ID (see Schedule 1 for details) Host Document ID (see Schedule 1 for details) Document Title (see Schedule 2 for details) Document Type (see Schedule 3 for details) Document Date (see Schedule 4 for details) Author (see Schedule 5 for details) Author Organisation (see Schedule 5 for details) Recipient (see Schedule 5 for details) Recipient Organisation (see Schedule 5 for details) 3.2 A sample spreadsheet is available from the Commission website www.barrettinquiry@qld.gov.au. Barrett Adolescent Centre Commission of Inquiry Document Management Protocol 14 September 2015 Page 1
4. Document Format and naming 4.1 Subject to paragraphs 4.2 and 5.15.1, all Documents will be provided as searchable images as multi-page PDF/A files. 4.2 Electronic Documents that do not lend themselves to conversion to PDF (for example, complex spreadsheets or databases) may be provided to the Commission as Native Electronic Documents or in another form as agreed by the producing party and the Commission. 4.3 Colour versions of Documents will only be created if it will be of evidential significance to the Commission to see the colour in a Document. Each file provided by a producing party to the Commission will be stored in the folder structure that matches the Document ID 1 structure as described in Schedule 6. This will allow correlation between each file and that file s metadata/information. 4.4 Further information about the naming of files is contained in Schedule 6. 5. Format for Witness statements and submissions 5.1 To enable hyperlinking to exhibits referred to within witness statements or submissions: (a) Witness statement and submissions should be provided as both: (i) Microsoft Word documents; and (ii) searchable images as multi-page PDF/A files. (b) Where a Document is referred to in a submission or witness statement, the references will be to the Document ID for the Document. (c) Each reference to an exhibit s Document ID should be made enclosed in double square brackets, for example [[ABC.001.0001.0345]]. 6. Completeness of Documents 6.1 Where Documents are produced, all parts of the document should be produced. For example, for an email chain, the final instance of that chain, showing all parts of that chain, are to be produced, and every attachment should also be produced. 7. Document Page Numbers and Document name 7.1 A unique Page Number Label in the format described in Schedule 1 will be electronically stamped on the top right hand corner of each page of every Document. Such page numbering can be readily achieved using Commercial Off The Shelf products such as Adobe Acrobat Professional or Nitro PDF, however, any similar method would suffice. 7.2 The Page Number assigned to the first page of a Document will be the Document ID for that Document. 8. Production Media 8.1 Documents and accompanying metadata should be provided to the Commission on read-only optical media (e.g. CD-ROM, DVD-ROM), Solid State Universal Serial Bus storage (USB stick) or portable hard drive and delivered to the Commission at Level 10, 179 North Quay, Brisbane. 9. Data Security 1 See Schedule 1 for an explanation of Document ID structure Barrett Adolescent Centre Commission of Inquiry Document Management Protocol 14 September 2015 Page 2
9.1 Producing parties will take reasonable steps to ensure that the data is useable and is not infected by Malicious Software. 9.2 If data is found to be corrupted, infected by Malicious Software or is otherwise unusable, the producing party will, within 2 working days of receipt of a written request from the Commission, provide a copy of the data that is not corrupted, infected by Malicious Software or otherwise unusable (as the case may be). 10. De-Duplication of Documents 10.1 Where appropriate, producing parties will take reasonable steps to ensure that duplicated Documents are removed from produced documents. 10.2 Duplication will be considered at a Document Group level. That means that the Documents within a Document Group (that is, a Host Document and Attached Documents) will be treated as Duplicates only if the entire Document Group is duplicated elsewhere. Barrett Adolescent Centre Commission of Inquiry Document Management Protocol 14 September 2015 Page 3
Schedule 1 Document IDs and Host and Attachment relationships 1.1 A Document ID must be unique because it is the sole means by which each Document will be referenced. 1.2 A Document ID will be in the following format: SSS.BBB.FFF.NNNN 1.3 The elements of the Document ID are set out in the following table: Level SSS BBB FFF NNNN Description The Producing Party Code. Each Producing Party will use a unique three alpha code. To ensure that each document has a unique Document ID, the Producing Party Codes must be unique. The Commission will liaise with producing parties and advise the Producing Party Code to be used by each party. The Box Number identifies a specific physical archive box or email mailbox or any other physical or virtual container. The Box Number is padded with zeros to consistently result in a 3 digit structure. The Folder Number identifies a unique folder number allocated by each party in their own Document collection. The Folder Number is padded with zeros to consistently result in a 3 digit structure. This refers to each individual page of each Document. The Page Number is padded with zeros to consistently result in a 4 digit structure. 1.4 Every Document that is attached to another Document will be called an Attached Document. 1.5 Attached Documents will have the Document ID of their Host Document in the metadata field called Host Document ID. 1.6 Host Documents and Attached Documents are jointly referred to as a Document Group. 1.7 In a Document Group the Host Document will be immediately followed by each Attached Document in the order in which the Attached Documents are numbered in their Document ID. 1.8 Annexures, Attachments and Schedules that are attached to an Agreement, Report, Legal Document or Minutes of a Meeting may be described as separate Attached Documents associated with the relevant Host Document. Barrett Adolescent Centre Commission of Inquiry Document Management Protocol 14 September 2015 Page 4
Schedule 2 Document Title 2.1 The Document Title is the title of the document derived from the face of the document by entering the subject, re or heading of the document where ascertainable. If the document does not have a heading, Untitled will be entered. 2.2 In the case of natively electronic material that has been processed prior to rendering to PDF/A, the Document Title may be captured from the metadata, being the information captured as File name and extension. Barrett Adolescent Centre Commission of Inquiry Document Management Protocol 14 September 2015 Page 5
Schedule 3 Document Type 3.1 The following Document Type values should be used. In the event that a producing party believes that an additional Document Type value is required, the Producing Party should liaise with the Commission as to ascertain whether additional Document Types should be added. Agreement Affidavit Article Board Papers Briefing Note Brochure Court Document Diary Entry Drawing Email Fax File Note Form Invoice Statement Legal advice or opinion Letter List Manual Map Media Meeting Agenda Memorandum Minutes Notice Photograph Receipt Report Financial Document Type Barrett Adolescent Centre Commission of Inquiry Document Management Protocol 14 September 2015 Page 6
Report Medical Report Other RFI RFO Specification Spreadsheet Statement Submissions Timesheet Document Type Barrett Adolescent Centre Commission of Inquiry Document Management Protocol 14 September 2015 Page 7
Schedule 4 Document Date 4.1 Regardless of how dates appear on a document, they will be captured in the format dd-mmmyyyy. Thus the seventeenth of July 2005 will be captured as 17-Jul-2005. 4.2 If a document does not have an identifiable date of creation, the document date will be blank. 4.3 If date metadata is available from native electronic documents that have been electronically processed, the date will be taken from the metadata Date last modified. Barrett Adolescent Centre Commission of Inquiry Document Management Protocol 14 September 2015 Page 8
Schedule 5 Describing People 5.1. People names may be referenced using: (a) (b) (c) email addresses (eg jcitizen@abc.com.au); or Surname [space] Initial (e.g. Citizen J) where email addresses are not available; or by reference to a position (e.g. Marketing Manager) where email addresses and Surname, Initial are not available. 5.2. Multiple Recipients will be entered in a single cell of the spreadsheet separated by a semicolon [space]. 5.3. For Minutes, attendees at that meeting will be recorded as Attendees. 5.4. For Agreements, parties to the agreement will be recorded as Between. Barrett Adolescent Centre Commission of Inquiry Document Management Protocol 14 September 2015 Page 9
Schedule 6 Naming of files 6.1 This schedule specifies how Electronic Images are to be located and named for the purposes of production to the Commission. 6.2 The Folder containing all Documents will be named either \Documents\ or \Images\ 6.3 Documents produced as Searchable Images will be named Document ID.pdf. Only the final full stop between the Document ID and the file extension will be used (ie ABC0010020312.pdf ). 6.4 Documents produced as Native Electronic Documents will be named DocumentID.xxx(x) where xxx(x) is the original default file extension typically assigned to source Native Electronic Files of that type (for example, ABC0010020312.doc ). 6.5 The Documents folder will be structured in accordance with the Document ID hierarchy, for example: The Document produced as a Searchable Image called ABC0010020312.pdf would be located in the folder called Documents\ABC\001\002\. So, it will appear in the directory listing as Documents\ABC\OO1\002\ABC0010020312.pdf. Where this same Document has been produced as a Word document, it would be called ABCOO10020312.doc and will be located in the folder called Documents\ABC\001\002\. So it will appear in the directory listing as Documents\ABC\001\002\ABC0010020312.doc Barrett Adolescent Centre Commission of Inquiry Document Management Protocol 14 September 2015 Page 10